US Capital Global Securities, LLC (“USC”) is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Brokerage and investment advisory services and fees differ, and it is important for you to understand these differences. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
We offer brokerage services to retail investors, including buying and selling public/private equity. At all times, your USC representative will be acting in the capacity of a Registered Representative of a broker-dealer. We do not offer account monitoring to our retail clients. Our brokerage services are non-discretionary: you make the ultimate decision regarding the purchase or sale of investments.
We do not offer any proprietary products to retail clients. We impose no minimum investment size, amount, or volume of transactions for brokerage services. However, some public or private equities, that are affiliates of USC, require a minimum investment. These investments may require certain specific criteria such as a minimum net worth.
We do not take custody or hold client assets or funds. Your investments are maintained or held by the issuer.
Conversation Starters:
Given my financial situation, should I choose a brokerage service? Why or why not? How will you choose investments to recommend to me?
What is your relevant experience, including your licenses, education, and other qualifications?
What do those qualifications mean?
For brokerage services, we charge a transaction-based commission that varies according to the security and the amount invested. The commission is typically a separate fee, add to the cost of your purchase. For bonds, the fee is typically called a markup and is included in the price you pay for the bond. For investments like funds, we receive transaction-based fees from the product sponsor in the form of asset- based sales loads. The commission for transactions in a brokerage account ranges between 2% to 8%.
For private placements, the commission and other fees are described in detail in the offering memorandum.
More transactions and/or higher investment amounts equal more fees; therefore, we have an incentive to encourage more transactions and investments of a higher value.
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying. See our Regulation BI disclosures at https://www.uscapglobalsecurities.com/disclosure or call us for assistance 415-889-1010.
Conversation Starters:
Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
When we provide you with a recommendation, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates a conflict with your interests. Please strive to understand and ask us about these conflicts because they can affect the recommendations, we provide you.
Here are some examples to help you understand what this means: If we recommend an equity security in a brokerage account, we will earn between 2% to 8%. If we recommend a public or private equity or separately in a private transaction, we will earn substantially more than 5% in sales concessions, warrants and other compensation. You are strongly encouraged to read the prospectus and our supplementary information to understand the costs and fees.
There are many risks and costs involved with investing. Please see our Regulation BI Relationship Guide on our website at https://www.uscapglobalsecurities.com /crs.html or, for equities offered and other private investments, please carefully read the prospectus. Please also carefully review and verify the accuracy of the information you provide us on account applications, subscription documents and others.
Conversation Starters:
How might your conflicts of interest affect me, and how will you address them?
Our financial professionals receive compensation including a percentage of the total commission or markup and a portion of the transaction confirmation fee for every transaction they make. In some cases, we or the financial professional will also receive warrants or other incentives for transactions in equities offered on the Flash Funders portal, an affiliate of USC and/or for other private offerings. These special incentives present a conflict of interest because they provide an opportunity to recommend more frequent transactions or to recommend an investment that will yield higher compensation. We address this conflict by making full disclosure to you, through our non-discretionary services, and by requiring a supervisor of our firm to oversee your transactions.
Yes. Our firm does have, and your Registered Representative may have disclosure event(s). Visit https://www.investor.gov/CRS for a free and simple search tool to research us and our financial professionals. Or visit https://brokercheck.finra.org.
Conversation Starters:
As a financial professional, do you have any disciplinary history? For what type of conduct?
For additional information about our services, please contact your Registered Representative or go to the Regulation BI Relationship Guide on the Disclosure Page on our website at https://www.uscapglobalsecurities.com./crs.html If you would like additional, up-to-date information or a copy of this disclosure, please email compliance@uscapglobal.com.
Conversation Starters:
Who is my primary contact person? Is he or she a representative of an investment adviser or a broker-dealer? Who can I talk to if I have concerns about how this person is treating me?
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